The pressure to go digital has become impossible for independent firms to ignore. Clients are clamoring for up-to-the-minute access to their accounts. Data-driven tools and robo advice are becoming the norm. Yet new compliance requirements are also coming thick and fast. How do independent advisors meet comply with the latest regulations, while also upgrading their practice safely, efficiently and inexpensively?
Suleman Din, Financial Planning managing editor, spoke to RIAs in New York, Hawaii and numerous states in between to find those who have embraced the challenges — and can teach their peers a few things about navigating these demands successfully. It may not be cheap up front, but it’s worth it, he finds.
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